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Browse Waddell, Melanie

1-155 out of 155 article(s)
Title Type Date Words
Investing implications of inversions. Nov 1, 2014 636
SEC taking 'deep dive' at accredited investor definition: the agency's investor advisory committee wants definition to include 'financial sophistication'. Nov 1, 2014 1255
New digital currency council to establish Bitcoin best practices. Oct 1, 2014 512
SEC's White: fiduciary rule important, but Dodd-Frank, jobs mandates come first: White stresses agency's focus on finishing rules mandated by Dodd-Frank and JOBs acts; senators voice concerns about bitcoin ETF, cybersecurity. Oct 1, 2014 1232
Want to boost your bottom line? Add more women: study after study shows that good things happen when more women are in the mix. Oct 1, 2014 1080
FINRA fines on pace to approach financial crisis levels, led by 'supersized' fines: FINRA has already levied $42.4 million in fines in first six months of '14, but disciplinary actions fell. Sep 1, 2014 479
What's next for the fiduciary standard? Fiduciary September sharpens focus over whether the SEC will rule or if the industry should act on its own. Sep 1, 2014 1487
401(k) savers who stuck out financial crisis reaping rewards: ICI, EBRI report finds that consistent savers from 2007 to 2012 saw an average 6.8% growth rate despite 2008 crash. Sep 1, 2014 1173
Variable annuities a top source of customer complaints: FINRA: FINRA 'very focused' on VAs; also watching inflation-sensitive products. Aug 1, 2014 1062
Dodd-Frank: four years later: regulators and lawmakers take a look at how the four-year-old financial reform law is working--or not. Aug 1, 2014 1257
Treasury clears way for longevity annuities in 401(k)s, IRAs: treasury amends required minimum distribution rules to allow annuity investors to start collecting later, treasury's Iwry says. Aug 1, 2014 1235
SEC charges Wedbush Securities with violating market access rule: Wedbush 'provided market access to overseas traders without preapproval and without ensuring that they complied with U.S. law,' says SEC. Jul 1, 2014 1131
Assessing the annuity landscape: VAs are getting more complex, while fixed annuity sales are soaring. Jul 1, 2014 1240
SEC's Gallagher: fiduciary debate is unfair: mismatch in broker/advisor exam data exists; SEC lacks 'a good enough understanding' of advisors. Jun 1, 2014 973
Cybersecurity crackdown. Cover story Jun 1, 2014 2190
Time to rein in rollovers? Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors. Jun 1, 2014 1259
Stop IRA rollovers 'immediately,' expert warns after tax ruling. May 1, 2014 332
Fiduciary debate turns to impact on investors: advocates say the SEC's failure to act on a fiduciary rule is hurting investors, but SIFMA begs to differ. May 1, 2014 1343
Top cybersecurity threats for BDs: BDs list operational risk, rogue brokers and hackers, say panelists at SEC event. Discussion May 1, 2014 686
SEC focused on 'preserving' money market funds; resources for advisor exams a 'crying need': SEC has 'laser' focus on the tax, cost and accounting concerns a money market rule could pose, Chairwoman Mary Jo White says. Apr 1, 2014 1216
White, Borzi and legislators focus on fiduciary: in what may well be a 'pivotal year' for fiduciary decisions, DOL is moving forward while the SEC may not move at all. Apr 1, 2014 1424
SEC reveals its 2014 exam and enforcement priorities: Mary Jo White and her team are giving advisors plenty of insight into what's coming down the pike this year. Mar 1, 2014 1230
Bad news for RIAs and IBDs, good news for wirehouses: aging advisors threaten the viability of both custodians and IBDs, Cerulli suggests, while wirehouses are resurgent. Mar 1, 2014 1377
Hefty penalties hardly make JPMorgan flinch: a barrage of penalties over the past year, including one for $2.6 billion for its Madoff ties, prove to be chump change for the huge bank. Feb 1, 2014 733
SEC issues guide on Muni advisor registration, extends compliance deadline. Feb 1, 2014 492
FINRA's hot-button exam issues for 2014: IRA rollovers, high-risk brokers, complex products and cybersecurity are on the regulator's priority list. Feb 1, 2014 1380
DOL seen as first mover on fiduciary: Labor Secretary Perez wants to revisit the DOL redraft 'from the ground up,' says Mercer Bullard. Jan 1, 2014 827
Taxing matters for the new year: while waiting on a budget deal, tax reform and extenders take the spotlight. Jan 1, 2014 1430
Don't fear social media, advisors say: advisors have gotten 'too wrapped up in compliance fears around social media,' says Kitces. Dec 1, 2013 961
Will the SEC create 'two kinds' of fiduciaries? The debate still rages on about what Dodd-Frank told the SEC it could--or could not--do in writing a fiduciary rule for brokers. Dec 1, 2013 1336
'Alarming' number of broker arbitration records wiped clean: study: FINRA says it recently provided 'expanded guidance' to assist arbitrators with their duties and is enhancing arbitrator training. Nov 1, 2013 966
How the SEC plans to be 'everywhere': despite limited resources, the agency is leveraging its strengths to zero in on advisors' smallest infractions. Nov 1, 2013 1398
The women leading the fiduciary charge: White, Borzi continue push for new rules. Oct 1, 2013 902
'Social selling' sensation: at the ripe old age of 31, Clara Shih is on a mission to help advisors embrace the social media wave. Oct 1, 2013 1440
Bag-lady specter haunts even savvy women's retirement: 'women of influence' fear going broke in retirement at nearly the same rate as other women, Allianz Life says. Oct 1, 2013 697
FINRA review, Investor Choice Act highlight arbitration anomalies: FINRA's Feinberg says broker expungement under review; new bill prohibits use of mandatory pre-dispute agreements in contracts. Sep 1, 2013 1256
DOL pressing forward on fiduciary: while DOL may succeed in getting a revamped fiduciary plan to OMB, it's likely to get stalled there. Sep 1, 2013 1108
Fiduciary stumbling blocks surface: lawmakers push bills to stymie DOL's reproposal while new data and commissioners complicate SEC's fiduciary frenzy. Aug 1, 2013 1256
Compliance matters: the SEC, FINRA and state regulators have been busy passing--or not--some notable measures. Aug 1, 2013 1361
Harmonization headache: advisors and their custodians worry that meshing harmonization of BD and advisor rules with a fiduciary rule could prove troublesome. Jul 1, 2013 1322
SEC's White gets short shrift from Congress: White says she has 'been struck by how vast, difficult and complex' the SEC's responsibilities are. Jun 1, 2013 691
Fixing the student loan crisis: Congress has less than two months to stop student loan interest rates from doubling. What does the future hold for higher education? Jun 1, 2013 1491
Without fiduciary rule collaboration, cost-benefit analysis 'worthless': Borzi says statutes too 'different' for single rule. May 1, 2013 1108
Mary Jo White. May 1, 2013 249
White pledges to weigh cost of fiduciary rule as Ketchum revives SRO fight: white intends 'to personally take charge in assessing' which rules will be priorities. Apr 1, 2013 1248
Sequestration cuts imminent; government shutdown looms: 'credible estimates' put job losses from a seven-month sequester near 1 million, GDP drag up to 0.7%, says Lieber. Mar 1, 2013 1100
Ketchum's big SRO omission: after revealing FINRA would cease SRO efforts in the House, CEO failed to mention the regulator's Senate strategy. Mar 1, 2013 1148
Fiscal cliff deal: 'a missed opportunity': deal was a 'small' step forward in reducing nation's debt; three 'forcing events' to take place in first quarter. Feb 1, 2013 1273
Emboldened Borzi is back: Borzi is adamant that EBSA's fiduciary rule will see the light of day this year. Conference notes Feb 1, 2013 1353
Enforcement actions against advisors nearly doubled: NASAA: prison time and the number of advisors, BDs removed or barred also spiked. Dec 1, 2012 836
CFP Board chairman Goldfarb's resignation raises questions: Goldfarb and two DEC members resigned after the Board 'found sufficient merit' in the allegations against them. Dec 1, 2012 1253
After election, all eyes will be on lame-duck session: if not dealt with, fiscal cliff threats could throw the economy back into recession during first half of 2013. Nov 1, 2012 672
Breach of fiduciary duty most common FINRA complaint: experts debate value of a fiduciary standard for brokers. Nov 1, 2012 1324
BDs' top 5 biggest compliance failures: NASAA: NASAA also recommends 10 best practices to help BDs strengthen compliance practices and procedures. Nov 1, 2012 750
Fight to reform money market funds continues: after SEC's Schapiro cancels vote, the two GOP commissioners offer their 'way forward'. Oct 1, 2012 931
SEC fiduciary rule stalled--but for how long? SEC's Schapiro: 'while it may appear from the outside it has stalled, work has been going on here to advance the issue'. Oct 1, 2012 1425
Remedy to boost advisor exams out of reach this year: action on SRO and user fee bills on hold. Sep 1, 2012 1087
Incapital's Tom Ricketts on sustainable investing--and yes, the cubs. Interview Sep 1, 2012 550
A chat with CFP board CEO Kevin Keller: the longest running CEO in seven years talks about the Board's missteps and achievements. Sep 1, 2012 1404
SEC, NASAA tell small businesses: wait to join the 'crowd': crowdfunding is 'not yet legal until the commission appoints rules,' says SEC's Kim. Aug 1, 2012 493
Borzi on the hot seat, again: Democratic lawmakers question DOL fiduciary rule on IRAs. Aug 1, 2012 1425
SEC funding boost 'not going to happen': SRO bill co-sponsor: at SRO hearing, Rep. Waters said she will introduce bill to allow SEC to collect user fees to fund advisor exams. Jul 1, 2012 1061
Time's up: the deadline to comply with the Dol's 408(b)(2) disclosure rule is finally here. Are you ready? Jul 1, 2012 1787
The heat rises on FINRA as advisor SRO: as congress holds hearing on Bachus Bill, FINRA naysayers come out swinging and former SEC chair Pitt weighs in. Jul 1, 2012 1331
Bachus reintroduces SRO bill: estimates from FINRA, BCG of how much it would cost to regulate advisors are wildly different. Jun 1, 2012 1000
Busy agenda for FPA, Starting with membership drop: FPA's Tuttle and Auslander address the FPA's current and future agenda. Jun 1, 2012 1319
Oliver Wyman releases data on IRA fiduciary costs to DOL: Borzi says reproposed fiduciary rule will include IRAs. May 1, 2012 963
Giving to get? Pro-fiduciary groups say they would support portions of SIFMA proposal to move the conversation forward. May 1, 2012 1213
SIPC fights SEC's Stanford suit: CEO Harbeck claims SIPC not required to refund investors' 'bad investment'. Apr 1, 2012 1059
The EBSA cracks down on retirement plan advisors: advisors take heed: the DOL arm that rides herd over retirement plans is ramping up its enforcement efforts. Apr 1, 2012 1282
FINRA to restructure BrokerCheck, giving investors more power: proposed changes include not only unifying BrokerCheck and the SEC's IAPD system, but also divulging broker and advisor test scores. Apr 1, 2012 740
DOL releases long-awaited 401(k) fee disclosure rule: date for complying with 408(b)(2) rule extended to July 1. Mar 1, 2012 1002
Post-election estate tax fix? The consensus is that the Bush-era tax cuts will be addressed after the presidential election. Mar 1, 2012 1285
DOL fiduciary rule set for first-half 2012 release. Feb 1, 2012 1014
Social media and you: the ubiquity of social media makes it ever more important to understand how regulators will treat those communications. Feb 1, 2012 1390
Frank not acting like Lame Duck; no fan of SRO Bill: Frank has announced that he will not seek re-election and will retire from Congress at the end of 2012. Jan 1, 2012 980
New year, new fiduciary rule? The new year will bring with it a new rule from the sec putting brokers under a fiduciary mandate. Or will it? Jan 1, 2012 1209
SEC assessing ETFs' effect on market volatility, Rominger tells Senate. Dec 1, 2011 737
Internal changes at SEC's exam division: while OCIE rolls out a National Exam Program, a former SEC insider gives a nod to an SRO. Dec 1, 2011 1234
FINRA Issues Alert on public nontraded REITs: fees associated with the sale of these products can be high and erode total return, FINRA says. Nov 1, 2011 960
Unfinished business: two big issues remain unresolved in Washington: a fiduciary standard for all and an SRO for advisors. Nov 1, 2011 1360
SRO bill may arrive this fall: FINRA is positioning itself as a likely candidate for an advisor SRO. Oct 1, 2011 1104
The mixed state of the advisor market: dually registered advisors continue to grow, wirehouses shrink and RIAs drive M&A activity. Oct 1, 2011 1510
Social media tops RIAs' compliance concerns, survey finds: SEC's pay-to-play rule, Form ADV Part 2 also top advisory firms' compliance chore list. Sep 1, 2011 324
Despite fiduciary critics, Schapiro and Borzi charge ahead: in the ongoing struggle over the fiduciary issue, the two top regulators aren't backing down. Sep 1, 2011 1385
FINRA to take closer look at mutual fund advertising: GAO study found complaints among fund companies that FINRA failed to consistently communicate new advertising interpretations. Sep 1, 2011 483
Mary Schapiro: toughest job in the nation? Aug 1, 2011 136
Phyllis Borzi: not the standard path to success. Aug 1, 2011 153
Dodd-Frank--one year later: Barney Frank says the law is 'holding up well,' but his Republican counterparts call it a 'roadblock' to the nation's recovery. Aug 1, 2011 1403
Retirement plans' perilous future: between threats of cutting tax benefits and crackdowns on non-compliant plans, for the retirement industry 'stakes are higher than they ever were'. Jul 1, 2011 1039
Fiduciary D-Day arrives; as the SEC launches into rulemaking, lots of 'thorny issues' will surface. Jul 1, 2011 1456
Dol's rule 408(b)(2) saga continues: former EBSA head Campbell says that officials will ask for compliance extension. Jul 1, 2011 653
Schapiro says SEC to focus in July on fiduciary, 12b-1: commission will look at fund regulation "in tandem" with RIA/BD reform. Jun 1, 2011 856
Experts dispute GAO study that 401(k)s only benefit the wealthy: Dallas Salisbury of EBRI and Brian Graff of ASPPA dissect GAO study on the topic. Jun 1, 2011 1357
SEC to meet Dodd-Frank's July deadline on 'switch,' private fund, venture fund advisors. May 1, 2011 529
Fair play: advisors are confused--and angry--over the SEC's new pay-to-play rule. May 1, 2011 2037
Is the Protocol long for this world? with Wall st. firms carving out 'exceptions,' Patrick Burns asks if a weakened Protocol can survive. May 1, 2011 1303
SEC funding in the budget Fight Crosshairs: Commission may be the biggest casualty as lawmakers continue tussle over the federal budget. Apr 1, 2011 1068
GOP'S end game in Nixing SEC funds: stopping Dodd-Frank: Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former chairman Harvey Pitt. Apr 1, 2011 1233
House, Senate hearings next on fiduciary: industry groups lobby for user fees to fund advisor exams in lieu of an SRO. Mar 1, 2011 1059

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